Policies

Adopted by the Board of SWEGE

List of Acronyms

CB: Capacity-Building
CSO: Civil Society Organisation
DAC: Development Assistance Committee (of the OECD)
M&E: Monitoring and Evaluation
MTE: Mid Term Evaluation
OECD: Organisation for Economic Co-operation and
Development
OSA: Organisational Self-Assessment
PCM: Project Cycle Management
RBM: Results Based Management
RF: Results Framework
SIP: Student Immersion Programme
SMART: Specific, Measurable, Achievable, Realistic and Time-
bound
ToC: Theory of Change
ToR: Terms of Reference

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Monitoring and Evaluation Policy
1. Context, Purpose and Scope of this Policy

This monitoring and evaluation (M&E) policy paper outlines the parameters and approach of
SWEGE ’s programme monitoring and evaluation activities as key components of the broader
organizational Project Cycle Management (PCM) system. 1 The policy covers all programming
interventions, including individual development projects and programmes 2 implemented by
partner agencies at field level; SWEGE 's Student Immersion Programme; its specific capacity-
building (CB) approach with partners; and its overall programme of work at global level. As
SWEGE takes a rights based approach to its work, the M&E approach covers both rights /
advocacy work and service provision initiatives.

The policy is guided by and implemented in coherence with the following key organizational
documents and policies:
SWEGE Strategic Plan (2013 2015) - as the ultimate guiding document for all Organisational
interventions; the organizational Theory of Change (as defined in the Strategic Plan);
SWEGE’s Partnership Approach to Development (2012);
SWEGE’s Partner Capacity-Building Approach and Plan (2018)

SWEGE has developed a results based management (RBM) system to monitor and assess the
performance of its programmes. The monitoring and evaluation processes are an integral part of
the RBM system, and are the key mechanisms through which the tracking, assessment and
analysis of results is recorded.

2. Definitions of Monitoring and Evaluation

For the purpose of this policy, monitoring is defined as the continuous and systematic
assessment of the implementation and performance of a project or programme over the course
of its implementation cycle. The process involves ongoing collection and review of information
to measure progress against programme plans and objectives. The monitoring process usually
includes a number of specific monitoring interventions at prescribed intervals (e.g. six-monthly
field monitoring visits or quarterly monitoring reports).

Similarly, an evaluation is defined as a rigorous and in-depth and assessment of the progress of
all aspects of a project or programme against its initial plan and objectives at a key point during
its life cycle. Evaluations are typically undertaken at or near the mid-point of the project (a mid-
term evaluation) and at the end of the project cycle (a final evaluation), and may be undertaken
as internal or external exercises.
3. Purpose of Monitoring and Evaluation

The purpose of monitoring and evaluation activities within the organisation is two-fold:
To ensure that SWEGE is fully accountable for the delivery of all of its programme and
project activities;
To ensure that SWEGE and its partners learn lessons from the implementation of projects
or programmes, and utilize that learning in seeking to improve or enhance the implementation
of programmes on an ongoing basis.

3.1 Accountability
SWEGE sees its accountability as having four dimensions:

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a) Primary (‘downward’) accountability is to the intended beneficiaries of SWEGE
projects i.e. to the poor marginalized and / or vulnerable people in the developing countries
where SWEGE works. Downward accountability also includes transparency and openness in
dealing with SWEGE’s partner agencies that directly implement the projects for these
beneficiaries.
b) Internal accountability: Within the organisation itself, the management and board of
SWEGE need to assure themselves that the organisation is delivering to the best of its ability on
its planned programming objectives and activities, in line with the organizational strategic plan.
c) Donor accountability: SWEGE is obliged to meet the commitments it makes to its
donors and supporters. This includes the provision of adequate and timely information in
relation to the use of funds raised from the general public. 3 It also includes delivery on specific
commitments made to institutional donors that fund particular programmes or aspects of
SWEGE’s work.
d) Accountability to other stakeholders to which SWEGE is accountable may include
government agencies in Ireland and / or in programme countries; other local agencies or
institutions that are not directly involved in the projects; and other (non-donor, non- partner)
agencies that SWEGE may be collaborating with in the implementation of programmes.
All SWEGE programs and their related M&E processes are designed to address all of these
dimensions of accountability.

3.2 Learning
SWEGE’s approach to monitoring and evaluation includes a specific focus on learning, and
applying the lessons from its experience in relation to the following areas:
The design of the project or programme, with particular reference to its relevance,
appropriateness and cost-effectiveness
The delivery of the programme or project, with specific reference to activities, outputs,
outcomes, (both expected and actual) and objectives;
The local environment and context in which projects or programmes are operating;
The programming approaches or methodologies being used (e.g. advocacy, service provision,
research) to deliver programmes;

The capacity of SWEGE and its partners to deliver the programmes, and the relationships with
various parties involved - including both partners and external stakeholders.

A key aspect of the learning process is that lessons are formally and systematically
documented during monitoring visits and evaluation processes, and that this documentation is
utilized to adapt or modify existing approaches and programmes, and in the development of
new programmes or approaches.

3.3 Balancing Accountability and Learning

Within the development sector, monitoring or evaluation processes can sometimes place a
heavy emphasis on either the accountability or the learning dimension, while downgrading or
even excluding the other dimension entirely. As outlined above, both accountability and
learning are integral dimensions of SWEGE’s approach to monitoring and evaluation. SWEGE
is committed to ensuring that, in undertaking monitoring exercises and designing evaluation
processes, a balanced approach is applied, so that both of these dimensions are fully considered
and explored, and that reports fully reflect both the accountability and learning objectives.
4. Adherence to International Standards and Best Practice
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SWEGE’s overall approach to monitoring and evaluation is guided by a number of key
international standards and best practice approaches:

4.1 DAC Criteria

In developing Terms of Reference plans for evaluations and also for monitoring visits, SWEGE
makes specific reference to the ‘DAC Criteria for Evaluating Development Assistance’ 6 as
widely used within the development sector:
Relevance: The extent to which the activity is suited to the priorities and policies of the
target group, recipient and donor;
Effectiveness: A measure of the extent to which and aid / development activity attains its
objectives;
Efficiency: A measurement of the programme outputs in relation to the inputs (including
the cost-effectiveness, timing and efficiency of process);
Impact: The positive and negative changes produced by the intervention, directly or
indirectly, intended or unintended;
Sustainability: Establishing whether the benefits of the activity are likely to continue after
funding has been withdrawn or the programme has been completed (including both financial
and environmental sustainability).
Evaluation questions and processes are specifically formulated with a view to assessing
progress against each of these criteria, and evaluation reports are required to address each of
these criteria.

4.1.1 Contribution and Attribution

In assessing progress against the DAC criteria, the degree to which progress (or lack of it) can
be specifically attributed to the interventions of SWEGE and its partners may not be always
clear, particularly where the interventions of a range of actors may be influencing the change
processes in a particular area, or for a particular target group. Notwithstanding the complexities
involved, SWEGE evaluation processes attempt to look at both contribution and
attribution aspects of progress, as follows:
The degree to which some or all of the changes (good or bad) may be directly attributed to
SWEGE’s interventions, and / or
The degree to which SWEGE’s actions may have contributed towards some or all of the
changes, even if not wholly responsible for them.

4.2 The International Framework for CSO Development Effectiveness

Given that effectiveness is one of the DAC Criteria that SWEGE utilizes to assess its work, the
ongoing evolution of the international development effectiveness agenda 7 is of particular
relevance to all of SWEGE’s work, and to its monitoring and evaluation approach in particular.
The Istanbul Principles8 for CSO Development Effectiveness forms a key reference point for
the evaluation of its development work:
1. Respect and promote human rights and justice
2. Embody gender equality and equity while promoting women and girls’ rights
3. Focus on people’s empowerment, democratic ownership and participation
4. Promote environmental sustainability
5. Practice transparency and accountability
6. Pursue equitable partnerships and solidarity
7. Create and share knowledge and commit to mutual learning
8. Commit to realizing positive sustainable change.

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Many of these principles are already encapsulated in key SWEGE documents such as the
Strategic Plan, the Partnership Approach to Development, and the Organizational Approach to
Partner Capacity-Building. The principles are specifically referred to in developing Terms of
Reference (ToRs) and plans for evaluations, and in evaluation reports. The International
Framework for CSO Development Effectiveness, which incorporates the Istanbul Principles
and provides guidance on how to achieve them, also provides a broader reference point for
SWEGE’s evaluation work.

4.3 Evaluation Tools and Methodologies

In addition to utilizing the DAC criteria and being formally guided by the CSO Development
Effectiveness Framework, the organisation also keeps abreast of the latest international
developments in relation to monitoring and evaluation methodologies and tools. SWEGE does
not prescribe a particular methodology to be used for all of its evaluations. Rather (and usually
in consultation with the consultant or agency conducting the evaluation on its behalf), it seeks
to identify a process and methodology that is appropriate to each individual evaluation
situation and context.

4.3.1 Rainbow Framework Planning Tool

Given the wide array of evaluation methodologies and processes that currently exist, SWEGE
will seek to use the recently developed Rainbow Framework Planning Tool produced by
BetterEvaluation10 as a guide in designing and managing its evaluation processes according to
the following stages outlined under that tool:
1. Managing the evaluation
2. Defining what is to be evaluated
3. Framing the boundaries of an evaluation
4. Describing activities, outcomes, impacts and context
5. Understanding causes of outcomes and impact
6. Synthesizing data from one or more evaluations
7. Reporting and supporting the use of findings.

5.0 Monitoring and Evaluation Framework

SWEGE’s organizational Theory of Change and its Results Based Management (RBM) system
provide the overarching framework for its monitoring and evaluation processes. The monitoring
and evaluation system operates at three levels: partners, programmes and organizational.

5.1 Theory of Change

SWEGE’s Draft Theory of Change (ToC) 11 provides the initial reference point in seeking to
determine the degree to which its programmes and projects are delivering on the expectations
of its intended beneficiaries, of the organisation itself, and of its donors and partners. The ToC
is due to be fully re- assessed in 2018, potentially resulting in some changes to aspects of this
M&E policy.

The current draft of the Theory of Change expresses the ultimate aim of ensuring that
‘communities are fully participating in self and community development, and exercising their
right to demand access to services’. Individual projects and programmes are based on more
specific change theories, as expressed through their specific programming activities, outputs,
outcomes and objectives (see Section 5.2, below). Under the existing ToC, there is a specific
focus on ultimately achieving active participation in self and wider development on both an
individual and collective basis, and with particular reference to a rights agenda. All
evaluation processes seek to establish the degree to which these aims are being achieved within
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the relevant project or programme.

5.2 Results Based Management System

The organizational results based management system provides the basis for all monitoring and
evaluation activities. Within the RBM system, progress is measured at three levels: in relation
to project outputs, outcomes and objectives.

Project Outputs are defined as the direct result of the basic project activities that are to be
implemented. While some risks and assumptions have to be allowed for in the project design,
and are identified in advance, the successful delivery of the stated activities should lead to the
achievement of the outputs (e.g. the construction of a water borehole or well will result in the
output of the wellbeing in place).

Project Outcomes are defined as the further results that will accrue (particularly for the target
community) as a result of the basic outputs being achieved, and subject to further assumptions
and risks being allowed for at outcome level e.g. the availability of the borehole will result in a
good clean water supply being available to the target community (subject to certain other
assumptions).

The Project Objectives, as defined in advance, will be achieved if the combination of project
outcomes is achieved, and subject to further assumptions and risks at this level (e.g. the
availability of a good clean water supply should result in a reduction of waterborne diseases in
the target population). The impact of the project, as defined under the project objectives will be
articulated clearly in terms of clear and sustainable benefits for target beneficiary groups.

A set of indicators is established for the measurement of progress at output, outcome and
objective levels. Indicators may be both quantitative and qualitative in nature, and a mixture of
both types is often used. In order to make meaningful assessments of progress, and to facilitate
rigorous and accurate evaluation processes, all indicators are required to be SMART (Specific,
Measurable, Achievable, Realistic and Time-bound).
The establishment of formal baselines at the beginning of every project is mandatory. Baselines
are developed in relation to each area of activity so that progress can be measured accurately
later on. Key targets are set at output and outcome levels, with specific reference to the
baselines, and to be achieved at specific time intervals within the project cycle. Timeframes for
the achievement of targets may vary, so that all indicators do not necessarily have an annual
target for each year. However, care is required in setting targets overall, in order to ensure that
sufficient data is being assimilated for the production of meaningful annual reports, and for
undertaking rigorous interim and final evaluations.

The means of verification for each indicator and target is also expected to be clearly
elaborated at the design stage, so that progress can be accurately measured during M&E
processes.

Specific consideration is given at the design stage to the development of indicators and targets
in relation to rights based or advocacy work, which may, in some cases, require more
qualitative indicators (e.g. in relation to community awareness levels or attitudinal change) than
might be the case for direct service provision activities (e.g. water supply or healthcare
services).

5.3 Three-Level Monitoring and Evaluation System

The SWEGE Monitoring and Evaluation System operates on three levels:

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Level 1: Monitoring and Evaluation of projects and programmes by Partner Organizations.
Level 2: Monitoring and Evaluation of the SWEGE Overseas Programme, including:
 The development programmes (as comprised of individual partner projects);
 The Partner Capacity-Building Programme; and
 The Student Immersion Programme.
Level 3: Monitoring and Evaluation at Organisational Level - including the oversight role of
the SWEGE Board. The policies and processes relating to M&E at each of these levels are
outlined in Sections 6 - 8, below. The three-level monitoring and evaluation system is illustrated
in Figure 1 (Appendix 1).

6. Monitoring and Evaluation by Partners (Level 1)

As a partnership based agency, all of SWEGE’s field programmes are implemented by local
partner agencies in Africa. Hence, the partner organizations have the initial responsibility for
monitoring and evaluation at field level as part of their own project cycle management systems.
Partner programmes generally operate to a four-year cycle, but may have shorter or longer
cycles in some cases.

6.1 Targeting
The identification of the target beneficiary group for each project is a basic requirement at the
initial stage of project design, and is an essential step in facilitating the development of a results
framework. The target population is clearly defined both in terms of numbers and categories of
people. A clear distinction is made also between the intended direct beneficiaries of projects,
and other indirect beneficiaries. Specific baselines and targets for each category of
beneficiaries are included in the results framework, with a particular emphasis on particularly
marginalized or vulnerable groups that may have been identified in advance. The process for
identification and targeting of beneficiaries is guided by SWEGE’s Targeting Policy (2018) and
the targeting policy of the implementing partner.
6.2 Baselines
All partners are required to develop a results framework for each project at the beginning of the
project cycle. Ideally, the baseline study should be conducted before the project begins, but in
practice it may not be always feasible to do so. A maximum period of three months from the
project start date is allowed at the beginning of a project for the completion of the
baseline study and establishment of all target outputs and outcomes for the full project
cycle. Partners are encouraged to utilize external expertise in the establishment of targets and
baselines where necessary, with financial support for this being included in the project budget.
Local communities and other local development agencies are expected to be consulted and / or
directly engaged in the identification of priority beneficiaries.

6.3 Monitoring by Partners

Partner organizations are expected to visit each project area on a quarterly basis at a minimum
and to provide monitoring reports (to a standard format) to SWEGE on a quarterly basis. The
project results framework is utilized as a guide for checking progress against each activity area
(but recognizing that there are unlikely to be specific quarterly targets in many areas of the RF).
Partners are expected to include beneficiaries in the project monitoring activities and
discussions. Apart from reporting on activities, outputs and outcomes (where possible), partner
monitoring reports will also include reference to specific accountability and learning issues, as
referred to in Sections 3.1 and 3.2 above. Additional funding is released by SWEGE on receipt
of satisfactory quarterly reports from partners.

6.4 Role of Partners in Evaluation

Mid-term and final evaluations will normally be conducted in the context of SWEGE ’s overall
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programme of work i.e. evaluation of several partner projects may well be taking place as one
part of one exercise. Hence, details of this process are outlined in Section 7, below, but partners
will have a key role to play in agreeing the Terms of Reference for the evaluation with
SWEGE, facilitating the evaluation itself, and ensuring full and objective participation of
beneficiaries in the evaluation process.

6.5 Partner Capacity-Building for M&E

Under the Partner Capacity Building Approach, SWEGE provides specific support to partners
in relation to the development of their overall Project Cycle Management (PCM) capacity,
including their ability to monitor and evaluate programming work. As for other aspects of
capacity support, the specific PCM support to be provided to a partner is based on
organizational needs and priorities, as identified under the Organisational Self-Assessment
(OSA) process described in the CB approach document.

7. Monitoring and Evaluation of SWEGE’s Programme (Level 2)

SWEGE’s overseas programme has three components:

The Overseas Development Programme (as comprised of individual projects /
programmes implemented by local partners);
The Partner Capacity Building Programme;
The Student Immersion Programme
The M&E approach relating to each of these three components is described in Sections
7.1 to 7.3, below:
7.1 Monitoring & Evaluation of the Overseas Development Programme
SWEGE has developed a composite results framework (RF) for all of its programme work in a
similar manner and format as for the individual project results frameworks developed by
partners. This framework is used for internal accountability and learning purposes (as described
above in Section 3) and specifically for reporting to institutional donors e.g. Irish Aid. SWEGE
does not envisage developing separate types of results frameworks for each institutional donor.
Rather, the single organizational RF is adapted or modified to meet the reporting
requirements of each institutional donor, as necessary.

7.1.1 Field Monitoring Visits

Field monitoring visits to each partner are conducted by SWEGE staff on a six-monthly basis.
These visits include monitoring of both project and capacity-building initiatives. During these
visits, the project results framework is utilized to assess progress against each of the activity
areas in the project. In addition to monitoring of outputs and outcomes, discussions with
partners and reports from monitoring visits (in standard format) include specific reference to the
accountability and learning issues referred to in Section 3 above. Six-monthly monitoring visits
will usually be conducted by a Programme Officer or the Director.

7.1.2 Final Evaluations

SWEGE commissions a final evaluation of each partner project at the end of the four-year
cycle. In order to ensure full objectivity, final evaluations are always external in nature i.e.
they are undertaken by an external consultant or agency to a specific Terms of Reference as
agreed between SWEGE, the partner and the consultant. Evaluations are conducted with
specific reference to the DAC criteria (Section 4.1) and the Istanbul Principles for CSO Aid
Effectiveness (Section 4.2) The Rainbow Framework Planning Tool (Section 4.3) is used as a
guide in designing and managing the evaluation process and methodology.

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Ideally, evaluations are conducted on an ex-post basis i.e. after the completion of the full four
year implementation period. In practice, interim funding is often not available to allow for the
ex-post evaluation to take place before a new cycle begins, in which case it may be necessary to
conduct an ex-ante evaluation, just before the programme cycle is completed, so that the new
cycle can be designed and implemented without delay.

Evaluations will address both accountability and learning issues (as detailed in Section 3) with
each evaluation recommendation being formally considered by partners and SWEGE under a
formal written ‘management response’ process. The rationale for adoption or non-adoption of
each recommendation under the management response is recorded for future reference by
SWEGE and its donors. Key lessons are also formally recorded, and are referred to in the
design of the next programme cycle.

7.1.3 Mid-Term Evaluations

Interim evaluations generally take place around the mid-point of the four-year cycle. SWEGE
aims to conduct mid-term evaluations (MTEs) for at least 60% of all programmes. An MTE
may be conducted internally by SWEGE and / or partner staff (potentially using staff from
another SWEGE partner) or by an external consultant. Recommendations from an MTE are
considered in a similar manner to those from a final evaluation, with a written management
response, including a clear rationale for the adoption or rejection of recommendations. Lessons
learned from an MTE are also formally documented and considered in how to change / adapt
the programme as it progresses.
Monitoring and Evaluation of the Partner Capacity-Building Programme
Partner Capacity-Building (CB) is a key aspect of SWEGE’s overall approach to development
work. The Organisational Approach to Partner Capacity-Building (2018) describes SWEGE’s
‘triple approach’ to partner CB in detail. The process for monitoring the implementation of
partner capacity-building plans is detailed in Section 3.8 of that document, and the process for
evaluating CB plans is outlined in Section 3 10, so they will not be outlined in detail here. In
summary, partner CB is normally based on a two-year cycle with six-monthly written updates
from each partner to SWEGE; six-monthly CB (and programming) field visits by SWEGE
staff; and 12-monthly in-field review of CB plans. As for programme work, specific targets are
set for CB outputs and outcomes.
During evaluation of CB work, the measurement of outputs relates to additional
capacity that has been provided or built in various ways;
Measurement of progress on outcomes relates to improvements in organizational
performance that (should) arise from the additional capacity.
The impact of the CB process is measured in terms of how increased capacity and
performance enables the partner organisation to deliver on its strategic plan to a higher level
that before.
Hence, there is a clear parallel between the measurement of progress on CB work and the
measurement of programme progress, and the former is also captured in a results framework
format.

7.2 Monitoring and Evaluation of the Student Immersion Programme

The Student Immersion Programme (SIP) has operated on a bi-annual basis to date, and is
about to be expanded in 2018. In future, a results framework will be developed for each
programme, under which specific targets will be set and progress measured in relation to
outputs (in terms of activities completed), outcomes (in terms of changes in knowledge, skills,
understanding and attitudes of both Irish and African students) and ultimate impact (in terms of
positive action taken by students resulting from the experience) can be measured. Hence, the
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progress of the SIP will be measured in a similar manner to that of the development projects
and the partner CB initiatives, in assessing the overall impact of SWEGE’s work.
Participating schools in Ireland and facilitating schools in Africa will play a key role in both
the design and evaluation of immersion projects, as will the participating students from Africa
and Ireland. A review of basic activities / outputs and early outcomes will be undertaken
annually following each immersion visit. An in-depth evaluation of the SIP will take place on a
four-year cycle. In addition to assessing the achievement of basic outputs, this evaluation will
also review medium-term outcomes and impact of the programme in line with targets set under
the results framework.

7.3 Linking with Audit and Financial Management Review Processes

All programme monitoring and evaluation process include basic reviews of expenditure against
budgets, with particular emphasis on the rationale for variances in expenditure. The assessment
of cost-effectiveness of interventions is a key aspect of the evaluation process, as described
under the DAC ‘efficiency’ criterion (Section 4.1). Specific audits of SWEGE’s own
programmes and those of partners are conducted as a separate process in line with the SWEGE
Financial Management and Audit Policy. Partner financial management capacity is addressed
as one of the seven institutional capacities under the Partner Capacity Building Approach. 12
Audit and financial management reports are utilized in conjunction with programme
monitoring and evaluation reports to make Judgments in relation to the performance of
SWEGE itself, and of its partners, from both learning and accountability perspectives.

8. Monitoring and Evaluation at Organisational Level (Level 3)

Building on the monitoring and evaluation work that takes place at partner and programme
levels, SWEGE also conducts a number of M&E exercises at organizational level to obtain a
macro-level overview of programming progress both on an annual and long-term basis. These
processes include the following:
An annual field review of partner capacity-building and programming work
An annual internal review of all programming work (including the Student
Immersion Programme)
Long-term studies of all programmes over a ten-year period

8.1 Annual Field Review of Partner CB and Programme Work

An annual workshop with the five SWEGE partners takes place at field level each year
following the individual meetings and project visits with partners. Provision is made for some
SWEGE board members (in addition to the Director and POs) to participate in these meetings
on occasion (and subject to budgetary constraints) in order to improve their overall
understanding of SWEGE’s field programming, thus enabling the board to improve its
oversight function as the governing body of the organisation. The three-day workshop reviews
progress in relation to four areas: programmes, partner CB, RBM and the rights approach.

8.2 Annual Internal Review of Programming Work

The annual partner field workshop is followed by an annual internal review at head office
level by the SWEGE board, director and staff. The purpose of the review meeting is to
consider progress in relation to all aspects of relationships with partners, both
Organisational and programmatic. The review includes the following activities:
Consideration of how issues arising during the previous year’s annual review have been
addressed in the interim period;
A discussion of key issues arising from the annual field workshop with partners, both in
relation to programming work and partner capacity-building;

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 A systematic review of recommendations from programme evaluations undertaken during
the year, and the management responses to these recommendations, from both accountability
and learning perspectives;
A discussion of issues emerging from reviews or formal evaluations (where available) of
the Student Immersion Programme (as described in Section 7.3) that have taken place during
the year.
The annual programme review process is an important source of information and discussion
for the SWEGE board, in enabling it to address key aspects of its oversight function in relation
to organizational governance and strategy.

8.3 Long-term (longitudinal) Programme Reviews

In recognition of the long-term nature of the development process, SWEGE is also committed
to conducting 10-year reviews of all of its work so that it can make longer-term assessments of
its overall effectiveness and impact. Ten-year reviews will be conducted across the entire range
of programming, including the Student Immersion Programme, the Partner Capacity-Building
Programme and the field development programmes. As for annual reviews, the long-term
reviews will be used to inform organizational strategic planning and review processes.

9. Oversight and Resourcing of Monitoring and Evaluation Work

9.1 Responsibility for M&E

All partner organizations have responsibility for ongoing monitoring and reporting on their own
projects and programmes (Level 1 M&E) in line with approved proposals to SWEGE and or
other donors. They are also responsible for facilitating and managing the local aspects of
evaluation processes in line with the requirements of SWEGE and donors, and for ensuring the
full participation of beneficiaries in M&E exercises.

The relevant SWEGE Programme Officer (PO) is responsible for overseeing field monitoring
activities and the commissioning and management of evaluations (Level 2 M&E), in
consultation with the Director, and the development of reports for donors. An SWEGE PO will
take responsibility for organizing the annual field-level review workshop with partners, in
consultation with the Director.

The SWEGE Director has overall responsibility for ensuring that all monitoring and evaluation
initiatives are delivered in line with this policy. The Director is specifically responsible for
organizing the annual internal review process conducted by the board (under Level 3 M&E), in
conjunction with the Chairperson of the Board, who will chair the review workshop.

9.2 Staffing Capacity

Steps are currently being taken to develop SWEGE’s own internal capacity in relation to M&E
through increased PO staffing and training, and with one PO to have a specific focus on RBM.
Further training and development in relation to the RBM system will continue over time.

9.3 Budgeting for M&E

Given the critical importance of M&E activities to overall programme quality, SWEGE will
ensure that adequate provision is made in all programme budgets for monitoring and
evaluation activities, including the cost of monitoring visits by SWEGE staff, and specific
budgets for mid-term and final evaluations. A sum in the range of 7% to 10% of the overall
budget will be included for this purpose. The percentage of the programme budget to be
allocated may vary by project as, for example, an advocacy based project might have a much
smaller budget that a service related project (as the latter may often include the provision of
goods, equipment or infrastructure) but might well require a similar level of resourcing for
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M&E activities.

10. Updating and Review of the Monitoring and Evaluation Policy

This Monitoring and Evaluation Policy is operational from April 2018, and will be updated on
an ongoing basis as required to incorporate new developments or changes in other policies,
strategies or processes within the organisation. A full review of the policy will take place after
four years, in April 2018.

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 Annex 1: Figure 1 - SWEGE’s Three-Level Monitoring & Evaluation System

Level 3: Monitoring and Evaluation at (Macro) Organisational Level

Organisational Level Learning and Accountability (governa
Annual Annual Long-term
Field Review with Partners Internal Review by Board (10-Year) Programme Reviews

Level 2: Monitoring and Evaluation of Aid link Programmes

Programme Level Learning and
Accountability
M&E of M&E of M&E of
Overseas Development Programme Student
Partner Capacity- Building Prog. Immersion Programme

Level 1: Monitoring and Evaluation by Partners (incl. Beneficiaries)

Project / Partner Level Learning
M&E of M&E of M&E of and Accountability
Project Project Z Project A

M&E of M&E of
Project Project
SWEGE FINANCIAL POLICIES AND PROCEDURES
Sound internal control is best achieved by a clearly defined process. This policy covers basic
accounting functions and should be adapted to fit individual organizational structures.

CASH RECEIPTS:

1. Each day the Administrative Assistant/volunteer opens, sorts, and date-stamps all mail.
Checks are endorsed at this time and given to Operations Manager (OM).

2. The OM copies the checks and posts all receipts daily into accounting software.

3. A deposit slip is made up from the daily receipts and taken to the bank within 3 working
days or if the amount of receipts exceeds $2,000, whichever comes first. A copy of the
deposit is kept along with the corresponding check copies and initialed by the OM.

4. Check copies including accompanying remittance statements are delivered to the

Administrative Assistant and are posted on the database.

5. A weekly Cash Receipts Journal is printed from accounting software each Friday and
reconcile with the deposit slips by two different staff. Each person then initials the correct
amount and keeps a copy.

6. The OM then deposits all cash and checks into the organization's operating bank account each
Friday, and prior to four o'clock on the close of the last business day of each month.

7. Funds received electronically for contributions and grants must be posted in accounting
software by OM within 3 days.

8. Bank reconciliations are performed monthly by the Board Treasurer (BT). Original bank
statements are to be reviewed and initialed by the Executive Director (ED). ED then forwards
original statements to OM for filing and sends copy of statements to BT for reconciliation. ED
also needs to forward copy of monthly check register to BT. BT performs reconciliation within
5 business days of receiving bank statements and check register then sends reconciliation back
to ED. BT will also ask questions regarding outstanding checks over 2 months old.

9. Petty cash on hand is kept in a locked filing cabinet in a locked cash box. Both the OM and
ED have a key. Cash is disbursed only with receipt or prior approval, or for making change.
Petty cash is reimbursed when necessary throughout the year and at fiscal yearend.
Replenishing petty cash is done through a check request form with allocations of all expenses
paid and is approved by the ED. The balance in petty cash should not exceed
10. $200 and any single disbursement of petty cash should not exceed $50.
PAYMENT PROCEDURES:

1. Standard monthly invoices: Monthly invoices are date-stamped by the Operations

Manager (OM) when they arrive in the mail. All invoices are reviewed for due date and
matched with the appropriate delivery ticket or sales order. A Check Request Form is
completed with the invoice attached for the payment.
2. All checks require a Check Request Form stating the purpose, amount, and the budget code
allocations. The OM receives and reviews all invoices, prepares the Check Request Form,
and sends both to the Executive Director (ED) for his/her review and initials. The Check
Request is returned to the OM to issue a check and to write the check number, date, and
his/her initials on it. Both are sent to the ED for check signature, and then back to OM to
complete processing.
3. All original invoices are then stamped with the date of payment, check number, amount
paid, and the OM’s initials. Checks and accompanying remittance are mailed the same
day. The approved Check Request and paid stamped invoice are placed in a folder and
filed weekly in the vendor's file after posting.

4. Business Credit Cards: Business credit cards should only be only held by ED and OM.
They are to be used for the organization’s business related purchases when credit accounts
with vendors are not set up or available. No personal expenses are to be charged on
business credit cards including any ATM cash withdrawals. Receipts are to be kept with
each purchase using credit card and then cross checked and attached to monthly credit
card statement when paid by OM.
5. Office supplies: The majority of office supplies are purchased through accounts that are
established by either the OM or the ED. A list of Vendor accounts will be maintained by
the OM and a catalog and order list are available for all staff requiring supplies. The
items requested are reviewed by the OM for cost-effectiveness and need based on
supplies already in the inventory. The list is then sent to the ED to initial for approval.
The supplies are ordered by the OM and all possible discounts taken. Invoices are
processed as stated above.

6. Electronic Funds Transfers (EFT): Recurring payments to vendors (i.e. for rent, utilities,
etc.) may be set up with bank by OM with the approval of the ED.

7. Printing: Print jobs are bid out by the OM. All bids are reviewed and the best offer is
accepted. Invoices are matched with each bid, compared for accuracy, and then processed
by using the regular payment review procedures.
8. Large purchases: For large or one-time purchases such as office equipment, telephone
system, or software, the OM researches all information available. The information is then
gathered and the best options are proposed to the ED, for review and authorization. The
order is then placed with invoice being the preferred method of payment

9. Employee reimbursements expense: Reimbursements are submitted by the employee to

the ED on a Travel and Expense (T&E) form (for out-of-town travel) or Expense
Reimbursement

10. Request for non-travel. The ED then reviews these materials for accuracy, signs the T&E
or Expense Reimbursement form and forwards the form to the OM for check processing.
 11. Travel & Expense rates: Mileage reimbursement for personal use of vehicles should not
exceed the government rate. The mileage rate is in lieu of actual expenses for the vehicle.
Meals and lodging for out-of-town travel should not exceed the federal government per
diem rate. The federal per diem rates change with travel destinations.
12. Travel & Expense documentation: Documenting travel is necessary for reimbursement. If
actual expenses are used for meals, then receipts must be attached to the reimbursement
form. If per diem rates are used for meals then receipts are not necessary. Receipts are
necessary for lodging regardless of the federal per diem rate. Also, attach any receipts for
travel expenses exceeding $15 (taxi’s, etc.).

ACCOUNTING REVIEW:

1. A monthly review of all revenues and expenses should be performed by the Executive
Director (ED) in addition to reviewing the monthly bank reconciliation. A monthly
detailed trial balance of all revenue and expense accounts will be generated by the
Operations Manager (OM) and forwarded to the ED. The ED should compare the trial
balance to the current budget and be able to explain all variances to the Board Treasurer
(BT).

SWEGE PROCUREMENT POLICY

All procurements made by SWEGE involving the expenditure of HOME Funds will be
made in accordance with the following procurement standards.
Procurement transactions, regardless of method or dollar value, will maximize open and
 free competition consistent with the standards of 24 CFR Sections 84.41 through 84.48.
SWEGE shall not engage in procurement practices which may be considered arbitrary
or restrictive.
Purchases will be reviewed by the (REVIEWER’S TITLE) to prevent duplication and to
ensure that costs are reasonable.

METHODS FOR PROCUREMENT

Procurements shall be made using one of the following methods:

a) Small purchase procedures,
b) Competitive sealed bids,
c) Competitive negotiations,
d) Non-competitive negotiation and shall be made in accordance with procedures set forth at
24 CFR § 84.44 (a) (1) through (a)(3) at a minimum.

A. Small Purchases

Purchases which cost between $500 and $1,000 will require three over-the-telephone quotations
of rate, price, etc. A memorandum will be prepared setting forth the date calls were made, parties
contacted, and prices obtained. For purchases of less than $500, efforts will be made to get the
lowest and best price, but written records of such efforts are not necessary.

Purchases of supplies, equipment and services which cost between $1,000 and $10,000 will
require written estimates but no legal advertisement is required. SWEGE will solicit written
responses from at least three vendors, and if no such responses are available, a statement
explaining the procurement will be prepared and filed.

B. Competitive Sealed Bids

Bidding will be employed when detailed specifications for the goods or services to be procured
can be prepared and the primary basis for award is cost. When the cost of a contract, lease or
other agreement for materials, supplies, equipment or contractual services, other than those
personal or professional, exceeds $10,000, an Invitation for Bids (IFB) notice will generally be
prepared. This notice will be published at least once in (NAME OF NEWSPAPER), the official
newspaper of general circulation in (SERVICE AREA). This newspaper notice will appear not
less than seven (7) days and not more than twenty-one (21) days before the due date for bid
proposals. SWEGE may also solicit sealed bids from responsible prospective suppliers by sending
them a copy of such notice.
The IFB will include a complete, accurate and realistic specification and description of the goods
or services to be procured, the bid deposit, payment bond and bond performance required (if
applicable), the location where bid forms and specifications may be secured, the time and place
for opening bids, and whether the bid award will be made on the basis of the lowest price or the
lowest evaluated price. If the lowest evaluated price is used, the measurable criteria to be used
must be stated in the IFB.

Sealed bids will be opened in public at the time and place stated in the IFBs. The bids will be
tabulated by the (TABULATOR’S TITLE) at the time of bid opening. The results of the
tabulation and the bid procurements will be examined for accuracy and completeness by the
(EXAMINER’S TITLE) who will make recommendations to the SWEGE. In addition, the
(RESPONSIBLE PERSON’S TITLE) shall determine that all firms are responsive and
responsible. The SWEGE will make the decision as to whom the contract shall be awarded. After
the bid award is made by the SWEGE, a contract will be prepared for execution by the successful
bidder. After the contract is signed, all bid deposits will be returned to all unsuccessful bidders.

SWEGE may cancel an Invitation for Bid or reject all bids if it is determined that such is in the
best interests of SWEGE. Bidders will be notified in writing of such cancellation or rejection.
SWEGE may allow a vendor to withdraw a bid if requested at any time prior to the bid opening.
Bids received after the time set for bid opening shall be returned to the vendor unopened.

C. Competitive Negotiations

SWEGE will use competitive negotiations, regardless of contract amount, upon a written
determination that:

1. Specifications cannot be made specific enough to permit the award of a

bid on the basis of either the lowest bid or the lowest evaluated bid price (in other words,
bidding is not feasible).

2. The services to be procured are professional in nature. With the exception

of certain professional services (principally engineering services), competitive negotiations will
proceed as follows:

a. Proposals will be solicited through newspaper advertisement;

additionally, a Request for Proposal (RFP) may be prepared and mailed to qualified vendors. The
newspaper advertisement must be published at least seven (7) days and not more than twenty-one
(21) days before the date for receipt of the proposals. The RFP will describe services needed and
identify the factors to be considered in the evaluation of proposals and the relative weights
assigned to each selection factor.
b. The RFP will also state where further details regarding the RFP
may be obtained. The RFP will call attention to the same regulations discussed in the bidding
process. Requests for proposals will always include cost as a selection factor.

c. Award must be made to the offer or whose proposal is

determined in writing by the SWEGE to be the most advantageous to SWEGE. Evaluations must
be based on the factors set forth in the Request for Proposal and a written evaluation of each
response prepared. The review committee may contact the firms regarding their proposals for the
purpose of clarification and record in writing the nature of the clarification. If it is determined
that no acceptable proposal has been submitted, all proposals may be rejected. New proposals
may be solicited on the same or revised terms or the procurement may be abandoned.

For the procurement of certain professional services, an alternative to RFPs may be used.
SWEGE may publish a Request for Qualifications. RFQ’s are handled in a similar method to
RFP’s with the exception that cost is not a factor in the initial evaluation. The (RESPONSIBLE
PERSON’S TITLE) will evaluate the responses and rank them by comparative qualifications.
The highest scoring person or firm will be contacted and the (CONTACTOR’S TITLE) will
negotiate cost. If the (RESPONSIBLE PERSON’S TITLE) is unable to negotiate a satisfactory
cost arrangement, the second highest scoring person or firm will be invited to negotiate. The
(RESPONSIBLE PERSON’S TITLE) will maintain a written record of all such negotiations.

3. Noncompetitive Negotiations

Noncompetitive negotiations may be used for procurements in excess of $10,000 when bidding
or competitive negotiations are not feasible. SWEGE may purchase goods and services through
non-competitive negotiations when it is determined in writing by the (RESPONSIBLE
PERSON’S TITLE) that competitive negotiation or bidding is not feasible and that:

An emergency exists which will cause public harm as a result of the delay caused by
following competitive purchasing procedures, or

The product or service can be obtained only from one source, or

The contract is for the purchase of perishable items purchased on a weekly or more
frequent basis, or

Only one satisfactory proposal is received through RFP or RFQ, or

The state has authorized the particular type of noncompetitive negotiation (e.g., the
procurement of services by an Area Development District).

Procurement by noncompetitive negotiation requires the strictest attention to the

observation of impartiality toward all suppliers. The SWEGE must approve all
procurements by non-competitive negotiation when only one supplier is involved or
only one bid or response to an RFP/RFQ is received.

4. Bids will be accepted only from those contractors who have a proven record of
ability to successfully complete the scope of work being bid. References will be requested along
with the contractor’s bid proposal. Any contractors submitting a bid must produce (along with
his/her bid documents) written proof of liability insurance and worker’s compensation coverage.
Consideration will be given to such matters as contractor integrity, compliance with public policy,
record of past performance and financial and technical resources in awarding contracts.

5. Upon submission of a bid, the contractor will present a bid guarantee equivalent
to 5 percent of the amount of the contractor’s submitted bid. Unsuccessful bidders will have their
bid guarantee returned to them with the notice which advises them they are an unsuccessful
bidder. The successful bidder will post (at the signing of the contract and notice to proceed) a
performance bond equal to 100 percent of the contract amount, along with a payment bond
equivalent to 100 percent of the contract amount.

II. CONTRACTS

Generally, all procurement in excess of $200 will be memorialized and supported by a written
contract. Where it is not feasible or is impractical to prepare a contract, a written finding to this
effect will be prepared and some form of documentation regarding the transaction will also be
prepared. The contractual provisions required by the “Common Rule,” 24 CFR Part 84 Sections
47 and 48 and 24 CFR Part 92 Sections 504, 505 and all others as applicable will be included in
all contracts. All contracts will contain language which allows the SWEGE the opportunity to
cancel any contract for cause. Said cause shall include (but not be limited to) demonstrated lack of
ability to perform the work specified, unwillingness to complete the work in a timely fashion,
cancellation of liability insurance or worker’s compensation, failure to pay suppliers or workers,
unsafe working conditions caused by the contractor, failure to comply with Davis-Bacon wage
laws (where applicable), failure to keep accurate and timely records of the job, or failure to make
those records available to the (ORGANIZATION NAME) (on request) or any other documented
matter which could cause a hardship for the SWEGE if a claim should arise or the work not be
completed on schedule at the specified cost.

Requests for proposals will be structured to utilize value-engineering for any construction project
in excess of $50,000. Value engineering will allow the total job to be broken down and bid in
sections, so as to produce the lowest overall cost of the project to the SWEGE. A project will
request proposals for heating as one element, electrical as one element, etc. In some cases, this
will make for a more cost-effective project. However, this does not preclude a bidder from
making a lump-sum bid.
Total cost will be calculated when value-engineering produces different bids for different
scopes of work. Those segmented bids will then be added together to give a final project
cost.
III. DOCUMENTATION

All source documents supporting any given transaction (receipts, purchase orders, invoices,
RFP/RFQ data and bid materials) will be retained and filed in an appropriate manner. Where
feasible, source documents pertinent to each individual procurement shall be separately filed and
maintained. Where it is not feasible to maintain individual procurement files, source documents
will be filed and maintained in a reasonable manner (examples include chronologically, by
vendor, by type of procurement, etc.).
Whatever form of documentation and filing is employed, the purpose of this section is to ensure
that a clear and consistent audit trail is established. At a minimum, source document data must be
sufficient to establish the basis for selection, basis for cost, (including the issue of reasonableness
of cost), rationale for method of procurement and selection of contract type, and basis for
payment.

IV. LOCALLY OWNED, MINORITY-OWNED, FEMALE-OWNED,

AND SMALL BUSINESSES

All necessary affirmative steps will be taken and documented to solicit participation of locally
owned, minority-owned, female-owned and small businesses. SWEGE will solicit proposals
from minority- or women-owned businesses that provide the goods or services that are being
sought. Where possible and feasible, delivery schedules will be established, and work will be
subdivided to maximize participation by small businesses or minority- or women-owned
businesses. Subdivided components will be bid as a separate contract. Where feasible, evaluation
criteria will include a factor with an appropriate weight for these firms. A list of locally owned,
minority-owned, female-owned and small businesses and also minority businesses located within
the trade region shall be maintained and used when issuing IFBs, RFPs and RFQs. This list shall
also be consulted when making small purchases. SWEGE will use the services and assistance of
the Small Business Administration and the Minority Business Development Agency of the
Department of Commerce. The successful bidder will be required to use this same criteria in
selection of suppliers and subcontractors whenever possible.

V. CODE OF CONDUCT

Conflict Of Interest

No SWEGE member, employee, consultant, elected official, appointed official or designated

agent of SWEGE will take part or have an interest in the award of any procurement transaction if
a conflict of interest, real or apparent, exists. A conflict of interest occurs when the official,
employee or designated agent of SWEGE, partners of such individuals, immediate family
members, or an organization which employs or intends to employ any of the above has a financial
or other interest in any of the competing firms.

No SWEGE member, employee or designated agent of SWEGE may acquire a financial interest in
or benefit in any way from any activity which uses any portion of HOME funding, nor shall they
have any interest in any contract, subcontract or agreement for themselves or any family members,
nor shall they ever occupy such HOME-assisted unit.
NOTE: These rules apply to all named parties and shall be effective for the period of service and
for one year after leaving said position (or office, in the case of elected officials).

Exception to these rules may be sought by requesting exemption from the U.S. Department of
Housing and Urban Development (HUD). Such request for exemption must be sent in writing to
HUD. In order to make such request, first, the full nature of the conflict must have been made
public and proof of such disclosure must be submitted to HUD, AND secondly, the SWEGE must
submit to HUD a legal opinion which states that the potential conflict will not be a violation of
state or local law.

A. Acceptance of Gratuities

No SWEGE member, employee or designated agent of SWEGE shall solicit or accept gratuities,
favors or anything of monetary value from contractors, potential contractors, subcontractors or
potential subcontractors.

B. Penalties

Any SWEGE member, employee or designated agent of SWEGE who knowingly and
deliberately violates the provisions of this code will be open to civil suit by SWEGE without the
legal protection of SWEGE. Furthermore, such a violation of these procurement standards is
grounds for dismissal by SWEGE (if an employee) or such sanctions as available under the law
(if an elected official).

Any contractor or potential contractor who knowingly and deliberately violates the provisions of
these procurement standards will be barred from future transactions with SWEGE.

Adopted by the SWEGE this ____ day of _____2020

_____________________________________
NAME:
TITLE

SWEGE

HUMAN RESOURCES POLICY

Introduction: This HR Manual contains the key policies, goals, benefits, and expectations of the
organization and other information an employee will need in the course of employment in the
organization.

The success of organization is determined by our ability to operate as a unified team. We have to
earn the trust and respect of our partners, and together we shall achieve our mission and goals.
Mission: Our organization creates an environment of hope and respect for needy children of all
cultures and beliefs in which they have opportunities to achieve their full potential, and provides
practical tools for change – to children, families and communities.

Objective: Management's objective in bringing out this Manual is to promote consistent Personnel
practices.

Scope: This manual sets forth HR policies and processes applicable to all employees in our
organization. This manual has been updated to cover the revisions that have come into force with
effect from 4TH JUNE 2018 This manual contains general statements of policy and should not be
read as forming an express or implied contract

Distribution: Copies of the HR Manual should be sent to each Site Office and other units of our
organization. The respective unit’s head in turn, will be responsible for distributing the same within
his or her Project / site.

Policy Application: Each department/unit/site office is responsible for the consistent application of
all policies stated herein in their respective departments/site offices.

Human Resources Philosophy: It is the fundamental policy of that all employees should be treated
fairly and without any discrimination. The Organization would like to maintain cordial relations
with its employees, afford easy accessibility, strengthen channels of communication and adopt a
pro-active role to motivate its employees.

Organisation will aim to become an Equal Opportunity Employer. No person will be discriminated
against in employment because of race, color, religion, sex,
gender, marital status, political belief, age, disability, ancestry, and sexual preference. This equal
opportunity extends to all aspects of employment, including recruitment, hiring, training &
development, promotions, termination, lay-offs, discipline and all conditions of employment and
benefits/privileges in accordance with applicable statutory laws. The Organization will attempt to
ensure that no employee is subjected to arbitrary decisions. All candidates for employment will be
considered on merit. It is the responsibility of the management to ensure that fundamental human
rights are not violated. The Organization shall strive to provide a safe and healthy working
environment. SWEGE expects that all individual employees shall maintain professional code of
conduct and the Organization expects high standards of trust, honesty and integrity from all its
employees.

SWEGE

Definition of Terms
Organization: Means the Regd. Office at SWEGE and its branch and liaison offices, located
anywhere in India or that may be established in future.

Project Manager: Means any person so appointed by Governing Body of the Organization.

Employee: Means any person appointed by SWEGE for its Establishment and includes an
Employee as defined under these service rules and regulations. The singular shall include the
plural, and the feminine, the masculine wherever applicable.

Attendance: Means presence of the Employee concerned at his/her designated place of work and in
effect engaged in the allotted work.

Premises: Includes all work places of SWEGE, including Organization, whether owned, leased or
hired by SWEGE

Probationer: Is a person who is provisionally appointed to a post and is under probation for the
prescribed probationary period. Upon satisfactory completion of the probationary period, the
“probationer” will be confirmed by an order in writing. Unless confirmed, the probationary period
will be extended for an additional period of maximum XX months. The maximum extended time
frame is applicable for all positions in question.

Permanent Employee: Is one who has satisfactorily completed the prescribed period of probation,
and has been issued an order of confirmation in writing, or a person who is so appointed to a
permanent position without probation.

Contractual Employee: Besides permanent employees, the Organization shall be at liberty to avail
of professional services through short and long term contracts. The services of the contractual
employees/consultant may be sought for all positions and the number of working hours,
remuneration and other terms shall be determined by the Project Manager. The contract may be
renewable on mutually agreeable terms if both the parties desire to re–enter into the contract.

Job Description : The document of responsibilities for each employee for the purpose for which
he/she was employed is defined as ‘job description.’ Each employee would be issued a job
description, which would include specific activities and the targets that need to be accomplished.
The Organization reserves the right to revise, add or modify the job descriptions of an employee at
any time.

Resignation : A desire to be relieved from the services/employment of Organisation subject to

acceptance, from a particular period of time, usually giving XXX months of notice or as specified
in the letter of appointment or confirmation or contractual agreement. Accordingly, all rights and
benefits accruing to employees shall stand withdrawn from the last day of employment.

Termination : If an employee is found to be repeatedly disregarding the disciplinary rules of the

Organization in spite of repeated notices, or if the performance of the employee (regular or
contractual) is not up to the desired level or does not show signs of improvement even after being
given the required training, the Organization may serve a notice of termination.

Salaries: The term salaries as per the Income Tax Act, 1961 is prescribed as “remuneration in any
form (including perquisites) due for personal service under an express or implied contract of
employment or service.”

Suspension: Employees who have violated the disciplinary standards and professional code of
behavior guidelines and who have failed to improve their conduct, intentionally or habitually, after
warnings through written communications shall be suspended from services for a period as decided
by Management. During the suspension period, the said employee will not be allowed to render any
kind of duties.

Increment: Salaries will be reviewed during …….. month of each new calendar year. Increments
will be based on performance of the employee in the previous year. The increment does not
become a fundamental right of the employee and the Organization may, if so desire, decrease the
percentage of increment, suspend the increment either temporarily or completely stop payment of
increments to employees it does not deem worthy of increment.

Benefits: Employer’s Contribution to Provident Fund, Membership to the Group Personal Accident
Insurance Scheme or any other benefits given to employees as decided by the management
constitutes the Benefits.

Promotion: Employees shall be promoted to higher positions, on the basis of their past
performance, competence, requisite qualifications and experience.

Appointments: An Appointment letter will be issued to all staff and subsequent to the receipt of the
letter of invitation to join employment, the candidate would be expected to submit a joining report.
All candidates should provide the following details:

• Copy of the relieving letter or ‘no dues’ certificate from previous employer
• Copies of experience certificates from all earlier employers
• Filled-in personal profile form of organisation with two passport size photographs
• Signed copy of the Conflict of Interest Statement.
• Signed copy of the statement on adherence to Child Protection Policy.
• Copy of pay slip or salary certificate of last drawn salary
• PF Nomination and PF Transfer Form, if applicable

Induction : All the newly recruited employees on joining shall be inducted into the system after a
formal orientation/training. It is recommended that the induction process shall be a multi-
departmental orientation program and the employee be sent on rotation to other departments to
enable him/her to understand all the departments of the Organization.

Probation : All newly recruited employees shall undergo a probation period of not less than Six
months from the date of appointment. The probation period may be extended by the management at
its sole discretion. During probation, should the employee resign, he/she shall be required to give
one month’s notice in writing and his resignation shall become effective only when the
Management accepts the same. The performance of an employee on probation shall be evaluated
before the expiry of the probation period.

Confirmation : On satisfactory completion of the probation period, the employee shall be

confirmed in the services of the Organization for full-term of the contracted tenure as the case may
be. A second copy of the letter of confirmation should be recorded in the employee’s personnel
file.

Resignation: A permanent employee desirous of leaving the services of the Organization shall give
there months’ notice in writing to the Project Manager through his/her immediate superior. The
employee shall then be relieved as per the terms and conditions of the letter of appointment at the
close of office hours on the date mentioned in the letter of acceptance of resignation. The employee
shall hand over charges to the respective Department heads or to the person designated by him/her
and obtain a clearance certificate.

Termination: An employee shall be liable for termination of services for breach of conduct, fraud
or non-compliance with the Organization’s policies and procedures or indulging in malpractice or
any other reason as deemed fit by the Organization by giving him/her one month’s notice or
compensation in lieu thereof. The services of an employee shall only be terminated by an order
issued by the Project Manager.

Performance Appraisal: All confirmed employees (regular as well as contractual) shall be

appraised annually against the objectives set out at the beginning of the year.

Annual Increment: Annual increment for all confirmed employees shall be implemented in xxx
month every year at the rate determined by the Governing Board of Organization.

Promotion: The decision to promote an employee shall be based on the past performance of the
employee, experience; additional qualification acquired by an employee and demonstrated
competencies required for the position.

Training Programs: Training inputs shall be provided both in-house and through external programs.
This decision shall be based on requirement of Projects.

Provident Fund: Employees shall contribute a fixed percentage, which shall be determined by the
Government of India or as modified from time to time and will be deducted at source from their
earned basic salary every month, which shall not include other allowances. The Organization as an
employer, shall contribute an amount which shall be equal to the contribution payable by the
employee or as modified or amended by the Government of India from time to time. In the present
context, the contribution is 12% of basic salary. The Organization shall not contribute an equal
share to voluntary contributions made by the employee. As per the PF Act, for those employees
whose basic salary is Rs.6500 or more, the employee can opt out of PF contribution. In case of the
contractual / permanent employee not opting for PF, the said amount shall be paid to the employee
as an additional allowance & shall be taxed accordingly. Employees shall be required to make a
nomination conferring the right to receive the amount

that may stand to his/her credit in the fund in the event of his/her death before the amount standing
to his/her credit has become payable, or where the amount has become payable before the payment
has been made. This shall be as per the provisions under the Employee’s Provident Fund and
Miscellaneous Provisions Act, 1952 or as modified from time to time.
Personal Accident Insurance Policy: Every employee of organization is covered under a group
personal accident insurance scheme of XXX insurance Organization. The cost of premium is borne
by the Organization and there is no additional contribution made by the employee.

Leave: The following policy recognizes the employee’s need to have time off from work for
various reasons such as religious, recreational, cultural, medical, personal or others.
Leave shall be calculated with reference to the calendar year- 1st Jan to 31st Dec.

The coverage for “Leave of absence” includes:

a) Privileged Leave (PL) 15 no. of days.
b) Sick Leave (SL) – 15 No of days.
c) Casual Leave (CL) – 15 No of days.
d) Maternity Leave –90 No of days.

Application for any kind of leave mentioned above shall be made in the prescribed Leave
Form for obtaining prior permission of the sanctioning authority.

Maternity Leave: Maternity leave on full pay will be granted to a female employee for a period not
exceeding 90 days on any one occasion (of which not more than 45 days shall precede the date of
delivery) and shall be restricted to 180 days during the entire period of service. The female
employee shall submit the application at least one month in advance, along with a certificate from
the doctor. All provisions under the Maternity Benefit Act 1961 will be adhered to. A female
employee suffering from an illness arising out of pregnancy, delivery, and premature delivery of a
child, miscarriage, medical termination of pregnancy or a tubectomy shall, on production of such
Medical Certificate, be entitled to leave of 30 days. Such medical leave, if any, shall not invite the
limit of 180 days Maternity Leave for two full-term pregnancies, during the entire period of
service.

Holidays: Important Local Festivals & National Holidays will be selected by the Project Manager,
as agreed by staff to be observed as holidays during the following calendar year.

Hours of Work: Working hours will be from 0900 hours to 1800 hours with due interval for lunch
from 1300 hours to 1330 hours from Monday to Saturday. For office assistants, driver and gardener
the attendance will be from 0830 hours to 1830 hours with the due lunch interval.

Attendance: All employees are expected to be punctual and observe office timings. All employees
are required to be in the office by 0930 hours.

Payment of Salary: The salary period is from 1st of the month to 30th/31st of the month. Payment
of salary will be in accordance with the Payment of Wages Act, 1936. Should the payday of the
month fall on a holiday or weekly holiday, the salary shall be paid on the preceding working day.

Telephone / Fax / E-Mail: The Telephone, Fax and E-Mail are used for official calls only.
However, private telephone calls (STD/ISD), from office will be permitted upon prior
authorization from TL or Deputy. The Telephone Register will be maintained.

Confidentiality: The use of confidential information must be strictly limited to the regular and
proper conduct of Organization. Except as authorized by Organization or required by law, no staff
member or others having access may disclose confidential information to any person, company or
other entity

Annexure D
OFFER OF EMPLOYMENT LETTER
PRIVATE AND CONFIDENTIAL

(on organization’s letter head) Date:

Dear ,
Re: OFFER OF EMPLOYMENT AS “ “.

With reference to your application for …………………………………………… employment and

the recent interviews you have had with us, we have pleasure in offering you employment on the
terms indicated below:

1. JOB TITLE
Your current job title will be …………….. and you will report to
the
………………….
2. COMMENCEMENT OF EMPLOYMENT
Your employment would be effective from upon your acceptance of this offer.

3. REMUNERATION
The total cost-to-company for your position will be US per annum.

4. TAXATION
Organization shall withhold the appropriate amount of income taxes from the salary paid to you.

5. PROBATION
Your employment will be on THREE months’ probation period. On satisfactory completion of
probation period, the confirmation of your employment letter will be issued.

6. OTHER TERMS AND CONDITIONS

All other terms and conditions are applicable be as per HR manual

7. ACCEPTANCE OF OUR OFFER

We hope you find this offer to be a satisfactory basis for joining in our Organization. We are glad
to have you in our team and would be able to reach more children effectively and be reckoned as a
voice of children in Somalia.

Please confirm your acceptance of our offer by signing and returning the duplicate copy of this
letter to the attention of the undersigned within 7 days from date of this letter along with joining
report you will need to complete and submit a joining report that would include –
I. Copy of the relieving letter/“No Dues” certificate from your previous employer
II. Copies of experience certificates from all previous employers
III. Filled-in personal profile form of Organisation with two passport-size photographs
IV. Copy of pay-slip or salary certificate of last salary drawn
V. PF Nomination and PF Transfer Form, if applicable

Yours sincerely,

I. For and on behalf of (name of the organization)

_____________________________
Chief Functionary
Acceptance
I accept the above mentioned terms and conditions of Organization.

Signature

Name
Date:

Employee Printed Name Position Title/Location

ENCL: HR Manual of organisation

GENDER POLICY OF SWEGE

We are committed to providing a secure and enabling work environment to our employees, a place
of work that is gender sensitive and recognizes the role of men and women as equal players, agents
and leaders of change in their families, communities and society.
The objectives of this gender policy are:
a) To espouse the cause of the right to gender equality and right to dignified livelihood.
b) To foster a social, physical and psychological environment that will enable employees to work
productively.
c) To strive for gender justice at both institutional and programmatic level.
[Organization] defines gender policy guidelines at two levels: Institutional and programmatic.
1. Institutional Level
a) Staff Policies: All staff policies, rules and regulations shall be gender sensitive and will be
reviewed periodically.
b) Recruitment: [Organization] seeks gender balance in staffing. Women candidates will be
encouraged to apply for all vacancies including management and leadership positions both at
the field and head office. There will be adequate representation of women in recruitment and
interview panels.
c) Performance reviews: Gender sensitivity will be one of the performance indicators for
assessing employees.
d) Capacity building for gender sensitization: We will organize workshops, training programs and
discussions for promoting and enabling a gender sensitive work culture. Also, regular trainings
will be conducted on awareness and confidence building of field staff, with special focus on
women staff.
e) Harassment: Our Anti Sexual Harassment policy is gender neutral and is in compliance with
the Sexual Harassment of Women at Workplace (Prevention, Prohibition and Redressal)
2. Programmatic Level
a) Building skills and capacities on gender perspectives to enable greater participation of all
sections of community in our programs will be one of our objectives in all programs.
b) All programs will promote equal participation of all stakeholders. To promote and assess
inclusion of gender equality in each project, managers will prepare and use a gender equality
checklist.

3. Committee on Gender Sensitization

Composition of our committee on gender sensitization to address gender issues and concerns is in
accordance with committee provisions of the Sexual Harassment of Women at Workplace
(Prevention, Prohibition and Redressal)

4. Applicability
This policy applies to all regular and contractual staff of [organization]. In case of a complaint as a
result of an act by a third party, management will take the necessary preventive and reasonable
action to support and assist the affected party.

Reporting

Management will report annually to the Trustees on implementation of this policy.

[Updated 29 Jan 2019]